-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Fo695l+WOpwSZYqglBD4Evg9C20fc2X+1oALCvqMuJNCd7BFyB+ciFMXIYShbLTA sEBOttwaV5tPgMl8DqtPfg== 0000932440-98-000062.txt : 19980218 0000932440-98-000062.hdr.sgml : 19980218 ACCESSION NUMBER: 0000932440-98-000062 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19980217 SROS: NASD GROUP MEMBERS: CHARLES H. PHIPPS GROUP MEMBERS: JOHN V. JAGGERS GROUP MEMBERS: JON W. BAYLESS GROUP MEMBERS: SEVIN ROSEN BAYLESS MANAGEMENT COMPANY GROUP MEMBERS: SEVIN ROSEN FUND IV LP GROUP MEMBERS: SRB ASSOCIATES IV L.P. GROUP MEMBERS: STEPHEN M. DOW SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ARQULE INC CENTRAL INDEX KEY: 0001019695 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 043221586 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-48819 FILM NUMBER: 98542095 BUSINESS ADDRESS: STREET 1: 200 BOSTON AVE CITY: MEDFORD STATE: MA ZIP: 02155 BUSINESS PHONE: 6173954100 MAIL ADDRESS: STREET 1: 200 BOSTON AVE CITY: MEDFORD STATE: MA ZIP: 02155 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SEVIN ROSEN FUND IV LP CENTRAL INDEX KEY: 0000879427 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 13455 NOEL RD STE 1670 CITY: DALLAS STATE: TX ZIP: 75240 SC 13G/A 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 ------------ SCHEDULE 13G (RULE 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13D-1(b) AND (c) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (AMENDMENT NO. 1)* ARQULE, INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON - -------------------------------------------------------------------------------- (Title of Class of Securities) 042 69E 107 - -------------------------------------------------------------------------------- (CUSIP Number) --------------------------- *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, See the NOTES). CUSIP 042 69E 107 13G Page 2 of 13 - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATIONS NOS. OF ABOVE PERSONS Sevin Rosen Fund IV L.P. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED 658,113 BY EACH REPORTING PERSON WITH ------------------------------------------------------- 6 SHARED VOTING POWER 24,421 ------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 658,113 ------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 24,421 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 682,534 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* : - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.7% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP 042 69E 107 13G Page 3 of 13 - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATIONS NOS. OF ABOVE PERSONS SRB Associates IV L.P. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED 658,113 BY EACH REPORTING PERSON WITH ------------------------------------------------------- 6 SHARED VOTING POWER 24,421 ------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 658,113 ------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 24,421 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 682,534 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* : - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.7% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP 042 69E 107 13G Page 4 of 13 - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATIONS NOS. OF ABOVE PERSONS Jon W. Bayless - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. - -------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED 50,611 BY EACH REPORTING PERSON WITH ------------------------------------------------------------ 6 SHARED VOTING POWER 682,534 ------------------------------------------------------------ 7 SOLE DISPOSITIVE POWER 50,611 ------------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 682,534 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 733,145 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* : - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.1% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP 042 69E 107 13G Page 5 of 13 - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATIONS NOS. OF ABOVE PERSONS Stephen M. Dow - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. - -------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED 6,000 BY EACH REPORTING PERSON WITH ------------------------------------------------------------- 6 SHARED VOTING POWER 740,848 ------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 6,000 ------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 740,848 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 746,848 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* : - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.2% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP 042 69E 107 13G Page 6 of 13 - ------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATIONS NOS. OF ABOVE PERSONS John V. Jaggers - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. - -------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED 37,693 BY EACH REPORTING PERSON WITH ------------------------------------------------------------- 6 SHARED VOTING POWER 682,534 ------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 37,693 ------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 682,534 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 720,227 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* : - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.0% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP 042 69E 107 13G Page 7 of 13 - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATIONS NOS. OF ABOVE PERSONS Charles H. Phipps - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. - -------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED 44,066 BY EACH REPORTING PERSON WITH ------------------------------------------------------------- 6 SHARED VOTING POWER 686,784 ------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 44,066 ------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 686,784 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 730,850 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* : - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.1% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! ITEM 1. (A) NAME OF ISSUER. ArQule, Inc., a Delaware corporation (the "Issuer"). (B) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES. The Issuer's principal executive offices are located at 200 Boston Avenue, Medford, Massachusetts 02155. ITEM 2. (A) NAMES OF PERSONS FILING. This statement is filed by the following persons: (i) Sevin Rosen Fund IV L.P. ("SR IV"); (ii) SRB Associates IV L.P. ("SRB IV"); (iii) Jon W. Bayless ("Bayless"); (iv) Stephen M. Dow ("Dow"); (v) John V. Jaggers ("Jaggers"); and (vi) Charles H. Phipps ("Phipps). SRB IV is the general partner of SR IV. Bayless, Dow, Jaggers and Phipps are the general partners of SRB IV. (B) ADDRESS OF PRINCIPAL BUSINESS OFFICE. The principal business office of each of SR IV, SRB IV, Bayless, Jaggers, and Phipps is Two Galleria Tower, 13455 Noel Road, Suite 1670, Dallas, Texas 75240. The principal business office of Dow is 550 Lytton Avenue, Suite 200, Palo Alto, California 94301. (C) CITIZENSHIP. SR IV and SRB IV are each Delaware limited partnerships. Bayless, Dow, Jaggers and Phipps are each U.S. citizens. (D) TITLE OF CLASS OF SECURITIES. This statement relates to shares of Common Stock, par value $.01 per share (the "Common Stock"), of the Issuer. Page 8 of 13 (E) CUSIP NUMBER. 042 69E 107 ITEM 3. This statement is not being filed pursuant to Rule 13d-1(b) or 13d-2(b). ITEM 4. OWNERSHIP.1 (A) AMOUNT BENEFICIALLY OWNED. (i) Each of SR IV are SRB IV beneficially owns 682,534 shares of Common Stock. (ii) Bayless beneficially owns 733,145 shares of Common Stock. (iii) Dow beneficially owns 746,848 shares of Common Stock. (iv) Jaggers beneficially owns 720,227 shares of Common Stock. (v) Phipps beneficially owns 730,850 shares of Common Stock. (B) PERCENT OF CLASS.2 (i) SR IV and SRB - 5.7%. (ii) Bayless - 6.1% (iii) Dow - 6.2% (iv) Jaggers - 6.0% (v) Phipps - 6.1% - ----------------------------------- 1 Of the shares of Common Stock beneficially owned by each of SR IV, SRB IV, Bayless, Jaggers, Dow and Phipps, 658,113 shares are owned of record by SR IV and 24,421 shares are owned of record by Legomer Investors, Inc. ("Legomer"). SR IV is the holder of a majority of the issued and outstanding capital stock of Legomer and Dow is the President and a director of Legomer. 2 According to the most recently available filing with the Securities and Exchange Commission in which such number is required to be indicated. Page 9 of 13 (C) POWER TO VOTE OR DIRECT THE VOTE AND DISPOSE OR DIRECT THE DISPOSITION OF SECURITIES. (i)(a) Each of SR IV and SRB IV has sole power to vote or dispose or to direct the vote or disposition of 658,113 shares of Common Stock. (b) Each of SR IV and SRB IV has shared power to vote or dispose or to direct the vote or disposition of 24,421 shares of Common Stock. (ii)(a) Bayless has sole power to vote or dispose or to direct the vote or disposition of 50,611 shares of Common Stock. (b) Bayless has shared power to vote or dispose or to direct the vote or disposition of 682,534 shares of Common Stock. (iii)(a) Dow has sole power to vote or dispose or to direct the vote or disposition of 6,000 shares of Common Stock. (b) Dow has shared power to vote or dispose or to direct the vote or disposition of 740,848 shares of Common Stock. (iv)(a) Jaggers has sole power to vote or dispose or to direct the vote or disposition of 37,693 shares of Common Stock. (b) Jaggers has shared power to vote to dispose or to direct the vote or disposition of 682,534 shares of Common Stock. (v)(a) Phipps has sole power to vote or dispose or to direct the vote or disposition of 44,066 shares of Common Stock. (b) Phipps has shared power to vote or dispose or to direct the vote or disposition of 686,784 shares of Common Stock. Page 10 of 13 ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ] ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. Not Applicable. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY. Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Not applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not applicable. ITEM 10. CERTIFICATION. Not applicable. Page 11 of 13 SIGNATURES/SIGNED IN COUNTERPART After reasonable inquiry and to the best knowledge and belief of the undersigned, the undersigned certify that the information set forth in this statement is true, complete and correct. SEVIN ROSEN FUND IV L.P. By: SRB Associates IV L.P., General Partner Dated: February 13, 1998 By:/s/ John Jaggers ------------------------------------------ John V. Jaggers, a General Partner SRB ASSOCIATES IV L.P. Dated: February 13, 1998 By:/s/ John Jaggers ----------------------------------------- John V. Jaggers, a General Partner Dated: February 13, 1998 /s/ Jon W. Bayless ------------------------------------------ Jon W. Bayless Dated: February 13, 1998 /s/ John Jaggers, Attorney-in-fact ------------------------------------------ Stephen M. Dow Dated: February 13, 1998 /s/ John Jaggers ------------------------------------------ John V. Jaggers Dated: February 13, 1998 /s/ John Jaggers, Attorney-in-fact ------------------------------------------ Charles H. Phipps Page 12 of 13 EXHIBIT INDEX EXHIBIT 1. Joint Filing Agreement. Page 13 of 13 EX-1 2 EXHIBIT 1 THIS DOCUMENT HAS BEEN SIGNED IN COUNTERPART JOINT FILING AGREEMENT In accordance with Rule 13d-1(f) under the Securities Exchange Act of 1934, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13G (including amendments thereto) with respect to the common stock of ArQule, Inc., and further agree that this Joint Filing Agreement be included as an exhibit to such joint filings. In evidence thereof each of the undersigned, being duly authorized, hereby execute this Agreement on the date set forth opposite its or his name. SEVIN ROSEN FUND IV L.P. By: SRB Associates IV L.P., General Partner Dated: February 13, 1998 By:/s/ John Jaggers ------------------------------------------ John V. Jaggers, a General Partner SRB ASSOCIATES IV L.P. Dated: February 13, 1998 By:/s/ John Jaggers ----------------------------------------- John V. Jaggers, a General Partner Dated: February 13, 1998 /s/ Jon W. Bayless ------------------------------------------ Jon W. Bayless Dated: February 13, 1998 /s/ John Jaggers, Attorney-in-fact ------------------------------------------ Stephen M. Dow Dated: February 13, 1998 /s/ John Jaggers ------------------------------------------ John V. Jaggers Dated: February 13, 1998 /s/ John Jaggers, Attorney-in-fact ------------------------------------------ Charles H. Phipps Page 1 of 1 -----END PRIVACY-ENHANCED MESSAGE-----